Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil M. Faulmino is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Neil has been in the industry since 2012 and holds a variety of licenses and registrations, including Series 6, 7, 63, and 66. Neil has a strong background in financial planning and portfolio management, and is committed to providing personalized advice to clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
03/20/2024 - Present
Wells Fargo Clearing Services, LLC (ENCINO CA)
CA
05/13/2019 - 04/15/2024
CITIGROUP GLOBAL MARKETS INC. (BURBANK CA)
CA
10/01/2012 - 05/16/2019
J.P. MORGAN SECURITIES LLC (WALNUT CA)
CA
08/21/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WALNUT CA)
BOTH
Issued 08/31/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/30/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2018
Series 7 - General Securities Representative Examination
BC
Issued 08/20/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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